Gary A. Kaku
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Aaron Kaku was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1971. Gary had worked at 5 firms and has passed the Series 22, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1986 - April 22, 1989
PFG SECURITIES, INC.
January 30, 1984 - October 24, 1985
WOODBURY FINANCIAL SERVICES, INC.
February 10, 1975 - August 13, 1977
M. H. DECKARD & CO., INC.
October 9, 1973 - March 10, 1975
COMBINED FUND MANAGEMENT COMPANY
August 24, 1971 - April 5, 1973
ALLIANZ LIFE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/21/1971
Registered Representative ExaminationCurrent Firm
PFG SECURITIES, INC.
CRD#: 15401 / SEC#: , 8-32122
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
